September 17, 2021
The Securities and Exchange Commission is not the only regulatory body increasing the number of examinations in 2021. On September…
SEC Tag
September 1, 2021
The CFTC imposed a $1.5 million fine on a major global food processor for position limit and related violations. See…
August 31, 2021
SEC charges three firms for cyber deficiencies when phishing attacks and credential stuffing resulted in the firms’ cloud-based email accounts…
August 26, 2021
On Monday, August 23, 2021, the SEC released proposed changes to the technical specification of form N-PORT. Changes are part…
August 16, 2021
On July 21, 2021, the SEC’s Division of Examinations released a Risk Alert addressing their observations from examinations of investment…
July 29, 2021
How are you getting paid? That is the question that the SEC is focused on in recent regulatory examinations of…
July 27, 2021
The SEC twice reminded 27 RIAs and BDs to meet Form CRS requirements before starting enforcement actions. The firms have…
July 16, 2021
Chair Gensler has been beating a drum signaling that changes to the U.S. transparency regimes are likely. In prepared remarks…
July 15, 2021
The SEC announced that Peter Driscoll, the Director of the Division of Examinations, will leave the SEC on August 14,…
June 24, 2021
On Monday, June 21, 2021, SEC adopted the changes in the Technical Specifications of the form N-CEN. All changes are…
June 17, 2021
We are witnessing the emergence of Bitcoin as a new (and growing) asset class among institutional investors – a rather…
June 14, 2021
The SEC has proposed a busy regulatory agenda. Among the topics listed are: ESG (proposal stage) Cybersecurity risk disclosure (proposal…